Standards Governing the Establishment of Securities Investment Trust Enterprises Article 33
A futures trust enterprise intending to concurrently operate securities investment trust business shall apply to the FSC for permission by filling out and submitting an application form, together with the following documents:1.A business plan, specifying, with respect the concurrently operated securities investment trust business: operational principles; internal organization and segregation of duties; planning for issuance of securities investment trust funds through public offering or private placement, and for business development, for the coming 2 years; personnel recruitment and training; and general description of premises and facilities.2.Minutes of the relevant board of directors meetings, showing the resolution to concurrently operate securities investment trust business.3.A register of directors and supervisors.4.Written statement(s) that none of the circumstances in Article 73 of the SITC Act exists with respect to any shareholder holding 5% or more of the total issued shares.5.The CPA-audited and certified financial report for the most recent period. If at the time of application 6 months have already elapsed since the beginning of the fiscal year, a CPA-audited and certified financial report for the first half-year shall be additionally submitted.6.A written statement that the application form and its attachments contain no misrepresentations or nondisclosures.The futures trust enterprise may simultaneously apply for a branch unit to provide support in the public offering, sale, and private placement of beneficial certificates of securities investment trust funds. The documents and procedures for the application for permission and for re-issuance of a business license shall be as provided in Articles 36 and 37 hereof.
中文原文 證券投資信託事業設置標準第33條
期貨信託事業申請兼營證券投資信託業務，應填具申請書，並檢具下列文件，向本會申請許可：
一、營業計畫書：載明兼營證券投資信託業務經營原則、內部組織分工、未來二年內募集及私募證券投資信託基金之發行及業務發展計畫、人員招募與訓練、場地設備概況。
二、載明兼營證券投資信託業務決議之董事會議事錄。
三、董事及監察人名冊。
四、持有已發行股份總數百分之五以上之股東無本法第七十三條規定情事之聲明書。
五、最近期經會計師查核簽證之財務報告。
申請時已逾年度開始六個月者，應加送上半年度經會計師查核簽證之財務報告。
六、申請書暨附件所載事項無虛偽、隱匿之聲明書。
期貨信託事業得同時申請分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務；其申請許可及換發營業執照之文件及相關程序，依第三十六條及第三十七條規定辦理。
一、營業計畫書：載明兼營證券投資信託業務經營原則、內部組織分工、未來二年內募集及私募證券投資信託基金之發行及業務發展計畫、人員招募與訓練、場地設備概況。
二、載明兼營證券投資信託業務決議之董事會議事錄。
三、董事及監察人名冊。
四、持有已發行股份總數百分之五以上之股東無本法第七十三條規定情事之聲明書。
五、最近期經會計師查核簽證之財務報告。
申請時已逾年度開始六個月者，應加送上半年度經會計師查核簽證之財務報告。
六、申請書暨附件所載事項無虛偽、隱匿之聲明書。
期貨信託事業得同時申請分支機構協助辦理證券投資信託基金受益憑證之募集、銷售及私募業務；其申請許可及換發營業執照之文件及相關程序，依第三十六條及第三十七條規定辦理。